James R. Escarre
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Robert Escarre III, who also goes by James R Escarre, Jim Escarre III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 21 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 1999 - June 23, 2000
VINING-SPARKS IBG, LLC
October 27, 1999 - December 1, 1999
ADVEST, INC.
August 26, 1991 - February 19, 1992
LLAMA COMPANY
April 29, 1988 - July 31, 1991
LEHMAN BROTHERS INC.
February 23, 1988 - May 6, 1988
U.S. ASSOCIATES, INC.
September 11, 1987 - February 10, 1988
WESTCAP SECURITIES, L.P.
March 11, 1986 - July 7, 1987
T. J. RANEY & SONS, INC.
October 7, 1985 - March 5, 1986
FIRST INVESTMENT SECURITIES, INC.
July 5, 1985 - October 22, 1985
ROSS SECURITIES CORP.
March 23, 1985 - July 11, 1985
UNITED CAPITAL CORPORATION
February 11, 1985 - March 8, 1985
COLLINS SECURITIES CORPORATION
October 22, 1982 - October 26, 1984
UNITED CAPITAL CORPORATION
February 26, 1982 - August 10, 1982
MARSHALL AND MEYER BROKERAGE SERVICES, INC.
January 15, 1981 - August 24, 1981
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1980 - February 15, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
May 11, 1979 - February 2, 1980
MARCUS, STOWELL & BEYE, INC.
February 27, 1979 - November 15, 1981
CIBC WORLD MARKETS CORP.
December 8, 1978 - July 22, 1980
LOEB PARTNERS
August 31, 1978 - December 24, 1978
UMIC, INC.
March 6, 1978 - October 22, 1978
LOEB PARTNERS
February 18, 1976 - March 2, 1978
MARCUS, STOWELL & BEYE, INC.
February 14, 1975 - April 4, 1975
April 10, 1974 - November 30, 1974
HIBBARD & O'CONNOR SECURITIES, INC.
May 9, 1973 - February 23, 1974
UMIC, INC.
October 13, 1971 - April 27, 1973
SELLERS INVESTMENT COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/24/1971
Registered Representative ExaminationCurrent Firm
VINING-SPARKS IBG, LLC
CRD#: 27502 / SEC#: , 8-43150
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
